Category Archives: Thought Leadership
The SEC Moves in on the DeFi Space with a Wells Notice for Uniswap – April 17, 2024
On April 10, the CEO of Uniswap Labs, one of the largest decentralized cryptocurrency exchanges, [...]
The Fox in the Henhouse – The Importance of Audit Independence in Assessing Cybersecurity Risk
It is one of the questions we are often asked at Salus GRC, and one [...]
SEC Fines Five RIAs for Marketing Rule Violations – April 15, 2024
On April 12, 2024, the SEC fined five registered investment advisers for advertising hypothetical performance [...]
SEC Expands Insider Trading Scope by Prevailing in “Shadow Trading” Case – April 9, 2024
On April 5, 2024, a jury in federal court in California found a pharmaceutical executive [...]
Private Markets Fund Managers – Effective SEC Exam Preparation Strategies
Over the past few years, under the leadership of SEC chairman Gary Gensler, we have [...]
SEC Fines Hedge Fund Manager $6.5 Million for Electronic Communications Violations – April 4, 2024
On April 3, 2024, the SEC took a notable enforcement action against Senvest Management, LLC, [...]
Cybersecurity Myths and Misconceptions for Emerging Managers
Common cybersecurity myths and misconceptions, debunked by Salus GRC cyber experts.
Private Markets Fund Managers – Effective SEC Exam Preparation Strategies
It is one of the questions we are often asked at Salus GRC, and one [...]
SEC fines Private Equity Adviser $4 million for Misuse of MNPI and Policy Failures
On December 26, 2023, the SEC fined New York-based private equity fund adviser OEP Capital [...]
SEC Announces Fiscal Year 2023 Enforcement Results
On November 14, 2023, the SEC announced its enforcement results for Fiscal Year 2023 (ending [...]